Carl Jacob Steigerwald Iii
Professional Summary
Carl Jacob Steigerwald III, who also goes by Carl J Steigerwald, Jay Steigerwald III, was a registered financial advisor. Carl was a previously registered financial professional and started their career in finance 1986 - 2026. Carl had worked at 7 firms and has passed the Series 63, Series 7TO, Series 22TO, Series 99TO, Series 79TO, SIE, Series 7, Series 22 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carl J Steigerwald, Jay Steigerwald Iii
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
Past
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Current Firm
ASHFORD SECURITIES LLC
Contact Information
Established
Delaware since 07/15/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2021About the Series 79TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Sep 1986About the Series 22 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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